REGULATORY OVERSIGHT

Helping you meet the measure

When you become a Sesame member, you'll benefit from a bespoke compliance review that's designed to help ensure your firm is measuring up to our requirements.

Your monitoring programme will be structured to ensure that you to benefit from a thorough, hands-on compliance solution.

Holistic oversight

Customer Outcome Review

Customer Outcome Review

Get meaningful, actionable feedback on the advice and documentation that you provide to your customers from our Customer Outcome Review team. If something's not right, we won't simply outline what's wrong — we'll offer valuable technical guidance on how to improve in the future. And you'll have a single point of contact who's responsible for delivering your feedback, and managing any actions that arise from it.

Compliance Policy

Compliance Frameworks

Our highly qualified and experienced team are focused on keeping you up-to-date with FCA regulation, and Government and international directives. We make sense of the regulator's guidance, and translate it into a robust compliance framework. We’ll keep you informed of relevant regulatory changes and explain what they mean for you, including any changes required to our compliance framework, processes or the way you do business.

Compliance Support

Compliance Support

A compliance framework is one thing, but how do you apply it in the real world? We'll give you comprehensive guidance on how to translate the theory into clear, actionable changes for your business and processes.

Best Practice

Best Practice

The best way to get things right is at the first time of asking. We'll support you on how to fine-tune how you apply our compliance framework to your business and advice process. You'll get access to a library of templates and forms and live, interactive webinars where you can pick up tips from us and your fellow members.

If you're ready to join Sesame, let's get the ball rolling.